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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

SETH MICHAEL WHITNEY

Advisor at CARY STREET PARTNERS

AUSTIN, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 29, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CARY STREET PARTNERS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 24, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: May 24, 2007
First registration: May 29, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5157756

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CARY STREET PARTNERS	Bd affiliated wealth	Dec 6, 2013	n/a	yes	AUSTIN, TX	Current employment
RIVERSTONE WEALTH MANAGEMENT	Former SEC adviser	Jul 24, 2009	Dec 9, 2013	no	AUSTIN, TX\|AUSTIN, TX\|AUSTIN, TX	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Mar 20, 2009	Jul 7, 2009	no	AUSTIN, TX	Previous registration
STANFORD GROUP COMPANY	n/a	May 29, 2007	Mar 19, 2009	no	AUSTIN, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RIVERSTONE WEALTH MANAGEMENT	CARY STREET PARTNERS	Dec 9, 2013	Dec 6, 2013	-3	Firm change	Other
OPPENHEIMER & CO. INC.	RIVERSTONE WEALTH MANAGEMENT	Jul 7, 2009	Jul 24, 2009	17	Firm change	Other
STANFORD GROUP COMPANY	OPPENHEIMER & CO. INC.	Mar 19, 2009	Mar 20, 2009	1	Firm change	Other

Relationships

Registered with (4)

→ CARY STREET PARTNERSRegistered adviserregistration: current employment
Dec 6, 2013 to presentfactForm ADV
→ RIVERSTONE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 24, 2009 to Dec 9, 2013factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Mar 20, 2009 to Jul 7, 2009factForm ADV
→ STANFORD GROUP COMPANYRegistered adviserregistration: previous registration
May 29, 2007 to Mar 19, 2009factForm ADV

Dated events

No dated event names this entity yet.